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Headline Issue Diary Date
Application period for crypto asset FSPs to obtain a licence begins on 1 June 2023 – Compli-Serve can help FSPs get registered 274 CompliNEWS 28 May 2023
Independent Regulatory Board for Auditors publishes revised Code of Professional Conduct for registered auditors 274 CompliNEWS 28 May 2023
IOSCO initiates consultation on 18 policy recommendations for crypto-asset markets as global regulation takes shape 274 CompliNEWS 28 May 2023
Hong Kong's SFC publishes comprehensive guidance for virtual asset trading platforms 274 CompliNEWS 28 May 2023
US investment advisor pleads guilty to $7m fraud scheme 274 CompliNEWS 28 May 2023
Mandatory risk and compliance return deadline for DNFBPs approaching or passed already 274 CompliNEWS 28 May 2023
Namibia's financial system remains resilient, according to April 2023 Financial Stability Report 274 CompliNEWS 28 May 2023
NAMFISA to conduct formal consultations on the proposed Draft Consumer Credit Bill 274 CompliNEWS 28 May 2023
Banking – New directive proposes consolidated information submission for South African D-SIBs and controlling entities 274 CompliNEWS 28 May 2023
Baker McKenzie releases comprehensive guide on South Africa's Broad-Based Black Economic Empowerment (B-BBEE) 274 CompliNEWS 28 May 2023
Working Smart

By Lee Rossini

Business continuity planning (BCP) is a structured approach that ensures a financial advice business can continue operating during and after unexpected disruptions. These disruptions might include natural disasters, cyberattacks, power outages, regulatory shocks, or even the sudden loss of key personnel. In a profession built on trust, timely communication and regulatory compliance, having a robust continuity plan is not optional; it is essential for protecting clients, safeguarding data and preserving the firm’s reputation.

CPD

Subscribers are reminded that they can complete monthly CPD quizzes and claim CPD hours before the 31 May deadline. View the CPD FAQs for more on accessing the CPD quizzes.

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